Chief Compliance Officer and General Counsel
To help R66 efficiently bring to market companies that aspire to make the world a better place.
Jim believes in serving our portfolio companies with integrity in a practical, efficient, hands-on manner. He is general counsel, chief compliance officer, and corporate secretary for the Route 66 portfolio of companies, managing all legal and regulatory matters for our venture capital, credit, and real estate business while assisting portfolio companies as needed. Jim joined Route 66’s predecessor in early 2011 and established the legal department and compliance program at the company and his focus is on serving Route 66 portfolio companies’ needs. His responsibilities include structuring and managing transactions, securities regulation, corporate governance, regulatory compliance, acquisitions, and management of general legal issues.
Jim’s legal expertise consists of 18+ years in the securities, finance, and corporate sectors. Prior to R66, he was Associate General Counsel of Goal Structured Solutions, where he structured a unique asset-backed lending platform for foreign students, private securities offerings, and discounted repurchases of securities.
While an attorney at Stroock & Stroock & Lavan LLP, Jim represented private equity (PE) funds, major investment banks, and issuers. His focus was on transactions with various collateral types in the structured markets, representation of commercial paper conduit programs as lender and borrower counsel, and issuers, and underwriters counsel on debt and equity offerings.
More on his background:
At R66, Jim’s focus is serving portfolio company needs. It’s critical that his legal support expedite and simplify transactions and address both legal and regulatory complexities. He devotes the time, so our companies can clearly understand the business at hand. Jim’s efficient, comprehensive, yet thoughtful approach sets him apart.
Jim has traveled for extended periods, and many of these trips have led to lifelong friendships or simply an appreciation of different cultural perspectives. Some favorite experiences include singing with Bedouin all night in the western desert of Egypt, fighting off a surly monkey troop in Bali, swimming with great white sharks off South Africa and getting lost in the bookstacks of El Ateneo Grand Splendid in Buenos Aires.
- Managed Route 66’s largest transaction, a $263m divesture of a control position in The American Home
- Managed dozens of venture capital investments and early-stage debt facilities while at Route 66
- Worked on transactions issuing over $100 billion in public and private debt and equity at Stroock
- Focused on helping portfolio companies succeed
- Handled several large litigation and regulatory issues to very successful conclusions
- Visited over 65 countries, lived overseas for several years
- JD, Fordham Law School
- BA, St. John’s University
Book: Anthology of the Short Stories of Ernest Hemingway
Movie: LOTR – The Fellowship of the Ring
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